NO.PZ2025041601000010
问题如下:
Thomas Li, CFA, was recently hired to manage an equity fund. Li reads the following company policies regarding the dissemination of investment recommendations:Question- Policy 1: An analyst should limit the number of people who are privy to the fact that a recommendation is going to be disseminated.
- Policy 2: An analyst should limit the amount of time that elapses between the decision to make an investment recommendation and the time the actual recommendation is disseminated.
To be consistent with the the Standard relating to fair dealing, Li should follow:
选项:
A.A.Policy 1 only. B.B.Policy 2 only. C.C.both Policy 1 and Policy 2.解释:
- demonstrate a thorough knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct by applying the Code and Standards to specific situations
有点迷惑,麻烦老师解答下,谢谢